Nick Rhoades v. State of Iowa
2014 Iowa Sup. LEXIS 71
| Iowa | 2014Background
- Nick Rhoades, HIV-positive since 1998, engaged in consensual sexual contact with A.P. on June 26, 2008; minutes and presentence report show unprotected oral sex and protected (condom) anal sex. Rhoades had a nondetectable viral load in spring 2008.
- Rhoades pled guilty (May 1, 2009) to criminal transmission of HIV under Iowa Code § 709C.1; plea colloquy included Rhoades’s admissions that he was HIV-positive, was present on the date, engaged in intimate contact, and that A.P. did not know his status.
- Defense counsel had not developed testimony establishing exchange of bodily fluids or that exposure occurred in a manner that could result in transmission; counsel did not move in arrest of judgment.
- Rhoades later sought postconviction relief alleging ineffective assistance for allowing a plea lacking a factual basis and for inadequate investigation; district court and court of appeals rejected the claim.
- Iowa Supreme Court granted further review and concluded the plea record lacked a factual basis for the statutory "intimate contact" element and that the court could not judicially notice transmissibility given scientific developments and Rhoades’s nondetectable viral load.
- Result: Court vacated appellate decision, reversed district court, found counsel ineffective for permitting plea without factual basis, set aside sentence, and remanded to allow the State to prove a factual basis or permit withdrawal of the plea.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether Rhoades received ineffective assistance by pleading guilty when no factual basis supported the offense | Rhoades: counsel breached duty by allowing plea without factual basis and failing to move in arrest of judgment; prejudice presumed | State: plea colloquy, minutes, and presentence report provided sufficient factual basis; reasonable inferences suffice; counsel not ineffective | Held for Rhoades: plea record lacked factual basis for "intimate contact" element; counsel ineffective; presumed prejudice |
| Whether the record contained facts showing intentional exposure to bodily fluids | Rhoades: record did not show exchange of bodily fluids or intentional exposure in a manner that could result in transmission | State: admissions of intimate contact and evidence of unprotected oral sex (and possible condom failure) permit inference of exposure | Held for Rhoades: colloquy and minutes did not establish bodily-fluid exposure; inferences insufficient to supply missing factual element on this record |
| Whether the court could judicially notice that sexual activity (including oral or protected intercourse) can transmit HIV | Rhoades: court should not take such notice given advances in HIV treatment and nondetectable viral load; transmissibility disputed and not indisputable | State: prior cases (Keene, Stevens) allowed judicial notice that HIV transmits via blood/semen/vaginal fluid and sexual intercourse is a common transmission route | Held for Rhoades: judicial notice inappropriate — fact was subject to reasonable dispute at plea time (nondetectable viral load, medical advances); cannot fill factual gaps by notice |
| Remedy after finding ineffective assistance for a plea lacking factual basis | Rhoades: plea should be set aside and sentence vacated; allow State to try to establish factual basis or permit plea withdrawal | State: (implicit) permit conviction to stand or remand for appropriate proceedings | Held: vacate conviction and sentence; remand for judgment finding counsel ineffective and direct district court to allow State opportunity to establish factual basis or withdraw plea if State cannot do so |
Key Cases Cited
- State v. Keene, 629 N.W.2d 360 (Iowa 2001) (recognized that HIV may be transmitted via contact with blood, semen or vaginal fluid and used judicial notice to fill factual-basis gap)
- State v. Stevens, 719 N.W.2d 547 (Iowa 2006) (affirmed that oral sex is a recognized means of HIV transmission and considered Keene’s reasoning)
- State v. Ortiz, 789 N.W.2d 761 (Iowa 2010) (explains sources to consult when determining factual basis for a guilty plea)
- State v. Gines, 844 N.W.2d 487 (Iowa 2014) (remedy framework when plea lacks factual basis; permit State to establish factual basis or allow plea withdrawal)
- Strickland v. Washington, 466 U.S. 668 (U.S. 1984) (two-part standard for ineffective assistance of counsel)
- Ryan v. Iowa State Penitentiary, 218 N.W.2d 616 (Iowa 1974) (colloquy using only statutory language insufficient to establish factual basis)